FINRA
FINRA

FINRA is a not-for-profit self-regulatory organization serving the U.S. securities industry through finance, fintech, and compliance programs focused on investor protection and market integrity. Its work supports brokerage firms, registered representatives, and investors with regulatory guidance, compliance resources, filings, education, and dispute resolution.

The organization oversees the conduct of securities firms and their employees, investigates activity that may undermine fair markets, and helps investors make informed decisions. FINRA also monitors activity connected to crypto assets, contributing to broader efforts to reduce fraud, insider trading, and other abusive practices in financial markets.

Senior Principal Financial Crimes Intelligence Specialist - FINRA (Hybrid)

Lead strategic intelligence work that advances FINRA’s understanding of financial-crime risks. Develop assessments and intelligence products supporting investor protection and market integrity.

Description

  • Support FINRA’s Strategic Intelligence mission within the Risk & Intelligence organization
  • Identify and assess emerging risks, threats, regulatory trends, and critical events affecting member firms, investors, and financial markets
  • Help develop strategies to mitigate identified risks and threats
  • Collaborate with internal stakeholders and subject matter experts across departments
  • Build and maintain internal and external intelligence partnerships and networks
  • Develop and maintain intelligence frameworks, collection strategies, and standards
  • Provide timely, actionable intelligence to enterprise and external stakeholders
  • Create intelligence products, assessments, briefings, and communications for senior leaders, regulatory staff, and external stakeholders
  • Strengthen intelligence processes, frameworks, and programs
  • Lead intelligence-sharing activities with member firms and investors through panels, working groups, and roundtables
  • Deliver FINRA staff training and intelligence-sharing through events, podcasts, workshops, and live webinars
  • Develop relationships with member firms, law enforcement agencies, and government intelligence partners
  • Collaborate in person and virtually to support investor protection and market integrity

Requirements

  • Bachelor’s degree with at least eight years of experience, or an equivalent combination of education and relevant experience
  • Advanced degree in intelligence studies, public policy, business, or law preferred
  • Experience in a broker-dealer, financial institution, government agency, or department focused on intelligence preferred
  • Advanced expertise in complex intelligence functions across the full intelligence cycle
  • Advanced analytical and strategic thinking skills for evaluating complex risks and threats
  • Demonstrated success improving intelligence processes or products
  • Knowledge of FINRA rules and federal securities laws preferred
  • Knowledge of securities markets and member firm operations preferred
  • Advanced written, verbal, and interpersonal communication skills
  • Advanced organizational abilities and exceptional attention to detail
  • Expert proficiency with the Microsoft Office software suite
  • Willingness to work extended hours and travel as needed
  • Ability to collaborate both in person and virtually
  • Compliance with FINRA’s Code of Conduct investment restrictions and financial disclosure requirements
  • Disclosure of applicable brokerage accounts and authorization of duplicate statements
  • Compliance with investment restrictions by the employment start date
  • Maintenance of securities accounts at firms providing an electronic feed to FINRA, with transfers completed within three months of employment
  • Execution of FINRA’s Employee Confidentiality and Invention Assignment Agreement and compliance with the company’s nepotism policy
  • benefits

Benefits

  • Eligibility for a discretionary bonus
  • Overtime eligibility for non-exempt employees
  • Comprehensive health, dental, and vision insurance
  • Basic life, accidental death and dismemberment, supplemental life, spouse or domestic partner and dependent life insurance
  • Spouse or domestic partner and dependent accidental death and dismemberment insurance
  • Short- and long-term disability insurance
  • Long-term care insurance
  • Business travel accident insurance
  • Legal insurance
  • 401(k) plan with company match, immediate participation, and vesting
  • Eligibility for an additional FINRA-funded retirement contribution
  • Tuition reimbursement
  • Commuter benefits
  • Adoption assistance
  • Backup family care
  • Surrogacy benefits
  • Employee assistance
  • Wellness programs
  • 15 days of paid time off, increasing with tenure to 25 days
  • Five personal days
  • Nine sick days
  • Two volunteer service days
  • Military leave
  • Jury duty leave
  • Bereavement leave
  • Voting and election official leave
  • Family member care leave after 90 days of employment
  • Childbirth and parental leave after 90 days of employment
  • Nine paid holidays for full-time employees

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